Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

FOOTHILL SECURITIES
1027
JAMES HORN
1721412
FOOTHILL SECURITIES INC.
1027
JAMES D HORN
1721412
FOOTHILL SERCURITIES, INC.
1027
JAMES DOUG HORN
1721412
FOOTHILL SECURITIES INC
1027
JAMES DOUG HORN
1721412
CROWN CAPITAL SECURITIES L.P.
6312
JAMES HORN
1721412
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2018-10-04
D/A
$8,954,943.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-09-24
D/A
$8,954,943.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-08-29
D/A
$8,954,943.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-08-16
D/A
$8,954,943.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-08-07
D/A
$8,954,943.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-07-24
D/A
$8,954,943.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-07-10
D/A
$8,954,943.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-06-28
D/A
$8,954,943.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-06-14
D/A
$8,954,943.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-06-05
D/A
$8,954,943.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-05-22
D/A
$8,954,943.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-05-08
D/A
$8,954,943.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-05-04
D/A
$8,954,943.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-04-25
D/A
$8,954,943.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-04-12
D/A
$8,954,943.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-03-30
D/A
$8,954,943.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2016-05-16
D/A
$524,125.00
No
$0.00
No
2016-04-13
D/A
$524,125.00
No
$0.00
No
2014-09-18
D/A
$818,130.00
No
$0.00
No
2013-02-25
D/A
$333,590.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2013-01-10
D/A
$330,950.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2012-11-29
D/A
$323,350.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2012-11-27
D/A
$321,750.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2012-11-07
D/A
$312,310.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2012-09-17
D/A
$285,510.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2012-08-14
D/A
$258,310.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2012-07-19
D/A
$235,110.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2012-06-13
D/A
$226,390.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2012-04-24
D/A
$206,470.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2012-04-10
D/A
$204,790.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2012-03-28
D/A
$201,190.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2012-03-06
D/A
$201,190.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2012-02-08
D/A
$199,190.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2011-12-21
D/A
$169,670.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2011-12-06
D/A
$163,270.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2011-11-09
D/A
$158,070.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2011-10-24
D/A
$143,670.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2011-10-06
D/A
$138,950.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2011-09-26
D/A
$122,950.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2011-09-07
D/A
$113,350.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2011-08-31
D/A
$105,750.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2011-08-10
D/A
$103,830.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2011-08-05
D/A
$94,230.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2011-07-21
D/A
$69,030.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE
2011-06-28
D/A
$59,680.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE DUE DILIGENCE FEE